Therese B Santos Email and Phone Number
Therese B Santos work email
- Valid
- Valid
- Valid
Therese B Santos personal email
- Valid
Therese B Santos phone numbers
Regulatory lawyer and compliance executive with many years’ international compliance and regulatory experience from both the legal and financial services sector. Inquisitive and disciplined with a proven ability to present and influence effectively in a multicultural and international context, and to implement efficient processes and strategic solutions within regulatory boundaries without compromising the details. Extensive expertise in legal/regulatory gap analysis.
-
Founder And Lead DesignerSense & Solace Interior DesignLondon, England, Gb
-
Chief Compliance Officer (Smf 16/17)Hudson River Trading Jul 2020 - PresentNew York, Ny, Us- Legal, Regulatory and Compliance advisory across all aspects of the business- Redesign and enhancement of the compliance framework and of various governance and regulatory processes - Successful management of several regulatory authorisation applications (Variations of Permissions, SMF etc.)- Responsible for liaison with regulators and external counsel
-
Deputy Mlro And Europe Compliance OfficerInstinet Europe Limited Sep 2018 - Jun 2020- Regulatory and Compliance advisory (SME in AML and algorithmic trading)- Restructure of AML and risk assessment framework to improve efficiency and accuracy- Driving implementation of a new change management framework intended to address conduct risks related to algorithmic trading applications and strategies- Mentoring and developing team members
-
Senior Compliance Manager - VpCiti Jun 2016 - Sep 2018New York, New York, Us- Regulatory and Compliance advisory for Citi’s EMEA Electronic Trading (Cash Equities) business- Implementation of regulatory reform e.g. MiFID II, SM&CR - Drafting and implementation of policies / procedures relating to algorithmic trading and monitoring- Driving implementation in EMEA of a new change management framework intended to address conduct risks related to algorithmic trading applications and strategies -
Senior Compliance Manager - VpCiti Nov 2014 - May 2016New York, New York, Us- Regulatory and Compliance advisory for Global Markets- Drafting and implementation of amended Compliance framework due to regulatory reform- Development and execution of compliance training plan- Outsourcing governance and program enhancement (including privacy implications)- Mentoring and developing team members
-
Compliance Manager - Global Markets And BankingBank Of America Merrill Lynch Mar 2013 - Oct 2014New York, Ny, Us- Regulatory and Compliance advisory, including privacy implications, for Global Markets (institutional equities focused), Corporate Banking, Global Transaction Services, Investment Banking and Research- Implementation of regulatory reform: crossing systems (dark pools) and OTC trade reporting (EMIR)- Enhancement of the Trade Surveillance Program and of the Compliance Monitoring and Testing framework- Development and execution of compliance training programs to address emerging issues -
Risk Management & Compliance - Monitoring & AssuranceLloyds Banking Group Aug 2012 - Mar 2013London, Uk, Gb- Management of control assurance and compliance monitoring programs - Investigation of recurrent or systemic non – compliance issues and overseeing completion of corrective action - Advising on control environments and the efficiency and effectiveness of procedures- Promoting understanding of control weaknesses and executing timely and effective action plans- Collaboration with senior stakeholders with a view to developing solutions to identified gaps -
Litigation ParalegalHwl Ebsworth Mar 2011 - Aug 2011Melbourne, Vic, Au- Timely and multifaceted project management of large competition and antitrust cases - Efficient coordination of the collection, organisation and analysis of complex case-relevant data - Drafting of case documents -
Compliance Executive - Compliance And Risk ManagementMacquarie Bank May 2010 - Nov 2010Sydney, Nsw, Au- Management of regulatory risks and conflicts of interest on a group-wide level - Development and advise on compliance policies and procedures across investment bank- Investigation of policy and rule breaches and operational risk incidents- Provision of prompt regulatory advice and guidance on compliance requirements - External and internal stakeholder reporting on control integrity and investigation activities -
Junior Judge / Judge'S Associate (Tingsnotarie)Stockholm And Sodertorn District Court Sep 2006 - May 2008- Handling of court matters, preparation and hearing of cases, drafting legal documents - Extensive mediation focus aimed at successful settlement between disputing parties- Supervising junior clerks and legal secretaries- Effective team management to ensure efficiency whilst maintaining legal and regulatory compliance focus- Writing policies pertaining to operations, control and organisational structure
-
LawyerSetterwalls Law Firm / Advokatbyrå Feb 2006 - Aug 2006Stockholm, Se- Assisting senior partners run matters for major private sector and government clients- Providing informed legal advice to clients - Drafting a wide range of legal documents - Conducting comprehensive legal research and investigations- Alternative dispute resolution -
Collections & Debt Recovery Officer - Special SituationsSwedbank Jun 2003 - Dec 2005Se-172 63, Se- Debt/credit/loan restructuring for corporate and commercial clients- Enforcement of credit policy whilst adhering to agreed levels of risk tolerance - Prompt administration and management of insolvency and debt recovery matters
Therese B Santos Skills
Therese B Santos Education Details
-
University Of SydneyLaw -
Stockholm UniversityLaw
-
Stockholm UniversityLaw
-
Uppsala UniversityFinancial Accounting
-
Kaplan ProfessionalRg146 / Diploma Of Financial Services
-
Global Association Of Risk ProfessionalsFoundations Of Banking Risk Program
-
Stockbrokers Association Of AustraliaAlgorithmic & High Frequency Trading
-
Stockbrokers Association Of AustraliaMarket Manipulation & Other Prohibited Conduct
-
Australian Financial Markets Association Ltd (Afma)Financial Products - The Fundamentals
Frequently Asked Questions about Therese B Santos
What company does Therese B Santos work for?
Therese B Santos works for Sense & Solace Interior Design
What is Therese B Santos's role at the current company?
Therese B Santos's current role is Founder and Lead Designer.
What is Therese B Santos's email address?
Therese B Santos's email address is th****@****ail.com
What is Therese B Santos's direct phone number?
Therese B Santos's direct phone number is 800 285*****
What schools did Therese B Santos attend?
Therese B Santos attended University Of Sydney, Stockholm University, Stockholm University, Uppsala University, Kaplan Professional, Global Association Of Risk Professionals, Stockbrokers Association Of Australia, Stockbrokers Association Of Australia, Australian Financial Markets Association Ltd (Afma).
What are some of Therese B Santos's interests?
Therese B Santos has interest in Human Rights, Environment, Disaster And Humanitarian Relief, Economic Empowerment.
What skills is Therese B Santos known for?
Therese B Santos has skills like Risk Management, Banking, Investment Banking, Litigation, Legal Compliance, Financial Risk, Management, Compliance, Governance, Outsourcing, Operational Risk, Legal Assistance.
Free Chrome Extension
Find emails, phones & company data instantly
Aero Online
Your AI prospecting assistant
Select data to include:
0 records × $0.02 per record
Download 750 million emails and 100 million phone numbers
Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.
Start your free trial